TECHNICAL MEMORANDUM FOR SUPERVISION PLANS 2009 Issued by the Secretary for
Development under section 39A of the Buildings Ordinance Cap. 123 The Technical Memorandum,
originally published under section 39A of the Buildings Ordinance (Cap. 123) in Special Supplement
No. 5 to Gazette No. 9 Vol. 1 on 29 August 1997 and amended by the resolution of the Provisional
Legislative Council passed under section 39A(3) of the Buildings Ordinance on 28 September 1997,
came into operation on 22 December 1997. The second edition of the Technical Memorandum,
incorporating amendments for the integration of the site safety and quality supervision plan systems
and supervision requirements of the registered geotechnical engineers, was published in Special
Supplement No. 5 to Gazette No. 22/2005 on 3 June 2005 and came into operation on 31 December
2005. This edition of the Technical Memorandum may be cited as the Technical Memorandum for
Supervision Plans 2009. It incorporates amendments on site supervision plan systems and
supervision requirements for the carrying out of minor works. It shall come into operation on a date
to be appointed by the Secretary for Development by notice published in the Gazette. (Effective
Date: 31 December 2010, please see Special Supplement No. 5 to Gazette No. 40/2010 on 8 October
2010) CONTENTS Page PART I PRELIMINARY 1. Citation and commencement 1 2. Application and
scope 1 3. Interpretation 2 PART II THE SUPERVISION PLAN 4. General principles 7 5. Safety
management structure 9 6. Supervision requirements 16 7. Form and content of a supervision plan
19 8. Procedures for submission of supervision plans 22 9. Circumstances in which minor deviations
from a supervision 23 plan may be notified in retrospect 10. The method and timing of notification
of, and the amendment 23 procedures for, a proposed or actual deviation from the supervision plan,
including deviations caused by an emergency 11. Circumstances in which a supervision plan is not
required 24 for building works or street works PART III MISCELLANEOUS INFORMATION Table 1
Minimum supervision requirements for different 28 types of building works or street works Table 2
Minimum qualifications and experience required for each grade 30 of TCP for site supervision PART I
PRELIMINARY 1. Citation and commencement 1.1 This Technical Memorandum is the Technical
Memorandum for Supervision Plans issued by the Secretary for Development under section 39A of
the Buildings Ordinance (Cap. 123). 1.2 This Technical Memorandum replaces the second edition of
the Technical Memorandum published in Special Supplement No. 5 to Gazette No. 22/2005 on 3
June 2005 which came into operation on 31 December 2005. This Technical Memorandum shall
commence to have effect on a date to be appointed by the Secretary for Development by notice
published in the Gazette. 2. Application and scope 2.1 This Technical Memorandum supplements the
provisions of the Buildings Ordinance governing the supervision of building works and street works.
2.2 This Technical Memorandum sets out the principles, requirements and operation of supervision
plans. It deals in particular with:- (a) the principles for the preparation of supervision plans; (b) the
form and content of a supervision plan; (c) the method statement of various types of building works
and street works, the types of precautionary and protective measures required to be undertaken for
the safety of the site, the workers and the public, and such other details relating to site safety as the
Building Authority may consider necessary; (d) the classes of supervision that the Building Authority
identifies as appropriate to various types of building works and street works having regard to the
complexity of the building works or street works, the manpower required and level of supervision
required for each of the classes of supervision; 1 (e) detailed supervision requirements for various
types of building works and street works including the management structure required to ensure
site safety, the manpower required for each element of the management structure, the
qualifications and experience of the personnel involved and the specific tasks to be associated in
each element of the management structure; (f) the general responsibilities of the site supervision
personnel for the various types of building works and street works; (g) the qualifications and
experience required for technically competent persons to be appointed for supervisory work under
supervision plans; (h) the procedure, timing and sequence for the submission of supervision plans; (i)
the circumstances in which an authorized person, registered structural engineer, registered
geotechnical engineer, registered general building contractor, registered specialist contractor or
registered minor works contractor is permitted to notify in retrospect for minor deviations from a
supervision plan; (j) the method and timing of notification of, and the amendment procedures for, a
proposed or actual deviation from a supervision plan, including deviations caused by an emergency;
and (k) the circumstances in which a supervision plan is not required for building works or street
works. 2.3 For detailed requirements and guidance on the preparation of supervision plans, the
Code of Practice, the relevant practice notes for authorized persons, registered structural engineers
and registered geotechnical engineers and the relevant practice notes for registered contractors
issued from time to time by the Building Authority should be referred to. 3. Interpretation 3.1 In this
Technical Memorandum the following definitions apply:- 2 “author” means the authorized person,
registered structural engineer, registered geotechnical engineer or authorized signatory who is
responsible for preparing a supervision plan; “authorized signatory” means the person appointed by
the registered contractor to act for it for the purposes of the Buildings Ordinance, and authorized by
the registered contractor to act on his behalf to exercise overall control of the contractor’s safety
management structure for the project. The authorized signatory should be:- (a) if the registered
contractor is a registered general building contractor or registered specialist contractor and is a body
corporate, a person appointed by the registered contractor as referred to in section 8B(2)(d) of the
Buildings Ordinance; (b) if the registered contractor is a registered general building contractor or
registered specialist contractor and is a partnership, a partner appointed by all the partners for the
purpose of section 8B(2)(d) of the Buildings Ordinance; (c) if the registered contractor is a registered
general building contractor or registered specialist contractor and is a sole proprietorship, the
contractor himself; or (d) if the registered contractor is a registered minor works contractor, the
person whose name is entered in the register as an authorized signatory of the registered minor
works contractor in section 12(7)(a)(ii), 19(4)(a)(ii), 23(7)(a)(ii) or 25(7) of the Building (Minor Works)
Regulation or in the provisional register as an authorized signatory of the registered minor works
contractor in section 65(5)(a)(ii) of the Building (Minor Works) Regulation. “Code of Practice” means
the code of practice for site supervision of building works and street works issued by the Building
Authority; “designated area” means the area with complex geological or groundwater conditions as
specified in the practice notes for authorized persons, registered 3 structural engineers and
registered geotechnical engineers and practice notes for registered contractors issued by the
Building Authority; “method statement” means a document setting out working procedures and
sequences including those necessary to ensure safety management; “minor works” means building
works designated in the Building (Minor Works) Regulation as minor works; “non-conformity” means
a situation where the conditions on site, the methods or measures adopted or the completed works
do not conform to the provisions of this Technical Memorandum, or the Code of Practice, or the
Supervision Plan or supplementary documents such as the approved plans, method statements or
statements of precautionary and protective measures; “permanent works” means the construction
activities or completed works which constitute a complete and permanent form of the building
works or street works; “practice notes for authorized persons, registered structural engineers and
registered geotechnical engineers” means the practice notes issued by the Building Authority from
time to time to provide guidance to authorized persons, registered structural engineers and
registered geotechnical engineers for various aspects of building works and street works; “practice
notes for registered contractors” means the practice notes issued by the Building Authority from
time to time to provide guidance to registered contractors for various aspects of building works and
street works; “quality supervision” means the necessary site supervision required to ensure that the
building works or street works are carried out in general accordance with the provisions of the
Buildings Ordinance and regulations, the plans approved in respect of such building works or street
works by the Building Authority or the plans submitted to the Building Authority in respect of minor
works which are 4 carried out in accordance with the simplified requirements, and any order made
or condition imposed, pursuant to any provision of the Ordinance or regulations in that behalf, by
the Building Authority; “registered contractor” means a person whose name is for the time being on
the registers maintained under section 8A of the Buildings Ordinance, who is appointed to carry out
building works or street works on a site; “scale” means an assessment of the size or extent of the
building works or street works falling within the supervision plan under consideration; “simplified
requirements” means any requirements prescribed in the Building (Minor Works) Regulation as
simplified requirements; “site safety supervision” means the necessary site supervision required to
check that the carrying out of building works or street works, including the sequence of
construction, temporary works pertinent to all stages of building works or street works and the
working environment are safe, such that the hazards from these works are controlled and risks to
workers on site, all persons around the site, and adjoining properties and land are mitigated;
“technically competent person” means a person whose academic or professional qualifications or
experience of building works or street works satisfy the requirements set out in this Technical
Memorandum and the Code of Practice for a particular type of site supervision or management
tasks. There are 5 grades as defined in this Technical Memorandum; “temporary works” means the
activity or construction which enables, supports or protects the permanent construction works, and
which will be removed or become redundant on completion of the permanent construction works.
Temporary works may include a particular sequence of activity within a method statement; and 5
“works” means the whole or a part of the works (other than minor works carried out in accordance
with simplified requirements) which is the subject of an application for consent to commence works
and which is the subject of a supervision plan; or in case of minor works carried out in accordance
with simplified requirements, the subject of a supervision plan. 3.2 Unless the context otherwise
requires, where applicable the terms and expressions in this Technical Memorandum shall have the
same meaning assigned to them under the Buildings Ordinance. 6 PART II THE SUPERVISION PLAN 4.
General principles 4.1 A supervision plan is defined under section 2(1) of the Buildings Ordinance. It
is a plan setting out the plan of safety management of building works or street works. It should be
drawn up by the authorized person (AP), the registered structural engineer (RSE), the registered
geotechnical engineer (RGE), the authorized signatory (AS) of the registered contractor (RC)
appointed for the building works or street works and any other person as necessary, to address
quality supervision and characterise the particular site safety related features and hazards of the
whole works. It should include details of the grade and number of technically competent persons
(TCPs) required for supervision. 4.2 For the purpose of preparing a supervision plan and supervising
the carrying out of building works or street works by an AP, RSE and RGE under sections 4(3) and
4B(2) of the Buildings Ordinance and by a RC under sections 9(5), 9(6), 9AA(4) and 9AA(6) of the
same Ordinance respectively, safety management of building works or street works comprises:- (a)
ensuring that the building works or street works are carried out in general accordance with the
provisions of the Buildings Ordinance and regulations, the plans approved in respect of such building
works or street works by the Building Authority or the plans submitted to the Building Authority in
respect of minor works which are carried out according to the simplified requirements, and any
order made or condition imposed, pursuant to any provision of the Ordinance or regulations in that
behalf, by the Building Authority, hereafter referred to as quality supervision; and (b) controlling
hazards from building works or street works so as to mitigate the risk to:- (i) the workers on site; (ii)
all persons around the sites; and 7 (iii) adjoining buildings, structures and land, hereafter referred to
as site safety supervision. 4.3 A supervision plan shall set out a management structure for site
supervision which provides for:- (a) adequate safety measures to be implemented to assure a safe
physical working environment on site; (b) adequate measures to be taken to check proper structural
support for plant and machinery being operated on site, and that their operation is safe; (c)
adequate control to be exercised on the sequence of construction works and temporary works to
check that all intermediate stages of building works or street works are safe; and (d) adequate
measures to be taken to check that the building works or street works are carried out in accordance
with the provisions of the Buildings Ordinance and regulations, the plans approved by the Building
Authority or the plans submitted to the Building Authority in respect of minor works which are
carried out according to the simplified requirements, and any order made or condition imposed by
the Building Authority. 4.4 A supervision plan is required to be lodged with the Building Authority
prior to or at the time of application for consent to the commencement of building works or street
works or as a result of carrying out urgent works. The supervision plan is a pre-requisite to the issue
of consent by the Building Authority for the carrying out of the building works or street works
referred to in the plan. For minor works which are carried out according to the simplified
requirements, the supervision plans, if so required, should be submitted to the Building Authority
not less than 7 days before commencement of the minor works. 8 5. Safety management structure
Safety management roles 5.1 The AP, RSE, RGE, AS and the TCP they appoint shall each have a role
to play in safety management. TCPs are organized in four streams led respectively by the AS, RSE,
RGE and AP and shall carry out the duties assigned to them. In carrying out functions for safety
management, all persons shall adopt the current practice as set out in the Code of Practice, and
where applicable and practicable, shall also adopt the best practice established by their respective
professions from time to time. 5.1.1 The safety management functions of the RC and his stream are:(a) to exercise all reasonable skill, care and diligence in following the part of the supervision plan
prepared by the AS; to carry out safety management measures and actions during the course of the
works in order to meet the objectives of section 4.3 of this Technical Memorandum; (b) to check
that the building works or street works are carried out in accordance with the provisions of the
Buildings Ordinance and regulations, the plans approved by the Building Authority or the plans
submitted to the Building Authority in respect of minor works which are carried out according to the
simplified requirements, and any order made or condition imposed by the Building Authority; and (c)
to supervise, in accordance with the frequency set out in the supervision plan, that the works
(including method statements and temporary works) shown on the prescribed plans are adhered to.
5.1.2 The safety management functions of the RSE and his stream are:- (a) to check and be satisfied,
in accordance with the frequency set out in the supervision plan, that the RC’s safety management
system complies with the part of the supervision plan prepared by the AS; (b) to verify that
conditions on site are consistent with assumptions made in the design of the permanent works and
in the design of those method statements and temporary works which are shown on the prescribed
plans; 9 (c) to check that the building works or street works are carried out in general accordance
with the provisions of the Buildings Ordinance and regulations, the plans approved by the Building
Authority or the plans submitted to the Building Authority in respect of minor works which are
carried out according to the simplified requirements, and any order made or condition imposed by
the Building Authority; and (d) to supervise, in accordance with the frequency set out in the
supervision plan, that the works (including method statements and temporary works) shown on the
prescribed plans are adhered to. 5.1.3 The safety management functions of the RGE and his stream
are:- (a) to check and be satisfied, in accordance with the frequency set out in the supervision plan,
that the RC’s safety management system complies with the part of the supervision plan prepared by
the AS; (b) to verify that conditions on site are consistent with assumptions made in the design of
the permanent works and in the design of those method statements and temporary works which are
shown on the prescribed plans; (c) to check that the building works or street works are carried out in
general accordance with the provisions of the Buildings Ordinance and regulations, the plans
approved by the Building Authority or the plans submitted to the Building Authority in respect of
minor works which are carried out according to the simplified requirements, and any order made or
condition imposed by the Building Authority; and (d) to supervise, in accordance with the frequency
set out in the supervision plan, that the works (including method statements and temporary works)
shown on the prescribed plans are adhered to. 10 5.1.4 The safety management functions of the AP
and his stream are:- (a) to check and be satisfied, in accordance with the frequency set out in the
supervision plan, that the RC’s safety management system complies with the part of the supervision
plan prepared by the AS; (b) to check that the building works or street works are carried out in
general accordance with the provisions of the Buildings Ordinance and regulations, the plans
approved by the Building Authority or the plans submitted to the Building Authority in respect of
minor works which are carried out according to the simplified requirements, and any order made or
condition imposed by the Building Authority; (c) to compile and prepare non-conformity and
rectification reports to the Building Authority under the circumstances set out in section 5.21 of this
Technical Memorandum; and (d) to supervise, in accordance with the frequency set out in the
supervision plan, that the works (including method statements and temporary works) shown on the
prescribed plans are adhered to. 5.1.5 For the types of building works or street works which do not
require the appointment of an RSE and/or RGE, the AP is to appoint TCPs who meet the
requirements of the streams of the RSE and/or RGE in order to carry out the duties and functions in
sections 5.1.2, 5.1.3, 5.12 and 5.13 of this Technical Memorandum. 5.2 Within each stream of the
RC, the RSE, the RGE and the AP, TCPs of the appropriate grades shall be appointed, either full time
or part time depending on the type of building works or street works involved. The TCPs shall
exercise all reasonable skill, care and diligence in carrying out the duties and specific tasks and
undertaking the responsibilities which are set out in this Technical Memorandum and the Code of
Practice. 5.3 The AP, RSE, RGE and RC shall each appoint the highest grade TCP in his stream as
representative to assist in carrying out their respective safety management functions. Alternatively,
the AP, RSE, RGE and AS may act as the respective 11 representative to carry out such safety
management functions (subject to their inspection frequency be not less than that required of the
highest grade TCP within their respective stream). 5.4 The AS, AP, RSE and RGE shall be responsible
for the operation of the respective parts of the supervision plans prepared by them and shall carry
out such site inspection as may be necessary to satisfy themselves that the requirements of the
supervision plans are implemented, and that their respective representatives and TCPs carry out
their duties under the supervision plan and as required by this Technical Memorandum and the
Code of Practice. Common responsibilities of TCPs 5.5 In addition to the specified responsibilities set
out in the Code of Practice, all TCPs shall have common responsibilities which are:- (a) to keep
records and to report on their own work; and (b) to co-operate with and communicate with the TCPs
in other streams. Site safety supervision tasks 5.6 Within each stream of the RC, the RSE, the RGE
and the AP, the TCP’s tasks shall be grouped into two types of supervision - engineering safety
supervision and routine safety supervision. 5.7 Engineering safety supervision is carried out by TCPs
of grades T4 and/or T5. Engineering safety supervision requires judgement and includes but is not
confined to:- (a) consideration of the principles of working methods being used on site and their
suitability for the conditions encountered; (b) checking that specified aspects of work comply with
design requirements where these are related to site safety; (c) checking that site works comply with
the supervision plan including method statements and precautionary and protective measures; (d)
verifying that the provisions of method statements and precautionary and protective methods are
valid for the conditions as encountered on site; 12 (e) notifying the designer of method statements
and precautionary and protective measures of variations in site conditions which are inconsistent
with assumptions made in the designer’s design; and (f) ensuring that systems are in place and
followed to record that safety supervision has been properly executed. 5.8 Routine safety
supervision is carried out by the TCPs of grades T1 to T3. Routine safety supervision includes but is
not confined to:- (a) monitoring that the site operations and working methods meet safety standards
set out in the Buildings Ordinance and respective codes of practice issued by the Building Authority,
and that unsafe practices are not being followed; (b) checking that general and minor safety aspects
of the building works or street works are properly carried out; and (c) checking that work carried out
on site complies with the approved, accepted or submitted method statements and precautionary
and protective measures. 5.9 Specific tasks for each type of site safety supervision include but are
not confined to those set out in the tables in the Code of Practice, under the following headings:- (a)
General safety measures and minor safety aspects of building works and street works; (b) Structural
support for and operation of plants and machinery; and (c) Temporary works and intermediate
stages of the building works and street works. 13 Quality supervision tasks 5.10 Quality supervision
includes but is not confined to:- (a) checking that the works are carried out in general accordance
with the provisions of the Buildings Ordinance and regulations; (b) checking that the works are
carried out in accordance with the plans approved by the Building Authority or the plans submitted
to the Building Authority in respect of minor works which are carried out according to the simplified
requirements, and any order made or conditions imposed; and (c) checking that the design
assumptions agree with the actual site conditions. AP’s safety management structure 5.11 The AP
shall appoint the highest grade TCP in his stream to be his representative who shall assist him in
carrying out safety management functions as set out in section 5.1.4 of this Technical Memorandum.
Alternatively, the AP may act as his own representative to carry out such safety management
functions (subject to his inspection frequency be not less than that required of the highest grade TCP
within his stream). The duties of the AP, the AP’s representative and the TCPs in the AP’s stream are
set out in the Code of Practice. RSE’s safety management structure 5.12 The RSE shall appoint the
highest grade TCP in his stream to be his representative who shall assist him in carrying out safety
management functions as set out in section 5.1.2 of this Technical Memorandum. Alternatively, the
RSE may act as his own representative to carry out such safety management functions (subject to his
inspection frequency be not less than that required of the highest grade TCP within his stream). The
duties of the RSE, the RSE’s representative and the TCPs in the RSE’s stream are set out in the Code
of Practice. RGE’s safety management structure 5.13 The RGE shall appoint the highest grade TCP in
his stream to be his representative who shall assist him in carrying out safety management functions
as set out in section 5.1.3 of this Technical Memorandum. Alternatively, the RGE may act as his own
representative to carry out such safety management 14 functions (subject to his inspection
frequency be not less than that required of the highest grade TCP within his stream). The duties of
the RGE, the RGE’s representative and the TCPs in the RGE’s stream are set out in the Code of
Practice. RC’s safety management structure 5.14 The RC shall appoint the highest grade TCP in its
stream to be the AS’s representative who shall assist its AS in carrying out safety management
functions as set out in section 5.1.1 of this Technical Memorandum. Alternatively, the AS may act as
his own representative to carry out such safety management functions (subject to his inspection
frequency be not less than that required of the highest grade TCP within the RC’s stream). The duties
of the AS, the AS’s representative and the TCPs in the RC’s stream are set out in the Code of Practice.
Interstream communication 5.15 Interstream communication shall include all communication arising
out of the TCP’s responsibility to co-operate and communicate with the TCPs in other streams. 5.16
The TCPs are deemed to have a duty to communicate directly with the TCPs in other streams with a
priority no less than that they would apply to communication within their own stream. Reports 5.17
Two types of reports must be prepared:- (a) site supervision reports; and (b) non-conformity and
rectification reports. 5.18 The procedures for preparing and submitting reports, including reports to
the Building Authority if required, are set out in the following sections. Site supervision reports 15
5.19 Site supervision reports shall be prepared by all the TCPs whenever they carry out supervision
on site, including daily reports for full time TCPs. These reports shall be filed and maintained in the
site office. 5.20 The site supervision report shall cover the following items:- (a) the items of works
that have been inspected; (b) the results of inspection; and (c) notes of non-conformity. Nonconformity and Rectification Reports 5.21 Non-conformity and rectification reports shall be compiled
and prepared by the AP and submitted to the Building Authority. When the AP notes or is made
aware of the non-conformity, he shall, under the following circumstances, compile and prepare the
non-conformity and rectification report for submission to the Building Authority:- (a) the nonconformity shall pose an imminent danger; or (b) the non-conformity shall cause a material concern
for safety or quality and the RC fails to comply with the rectification instruction . 5.22 The Code of
Practice sets out how non-conformity is dealt with at the level of TCP. 6. Supervision requirements
6.1 The classes of supervision appropriate to a type of building works or street works are defined by
means of the number and grades of TCPs and their frequency level of inspection of the works. The
minimum requirements on the grades of TCPs and frequency level of inspection appropriate to
various types of building works or street works are set out in Table 1 in this Technical Memorandum.
The number of TCPs and their frequency level of inspections should be increased with the
complexity of the works. Complexity should be assessed on the basis of the criteria including the
types of building works or street works, the construction and span of structure, the locality and the
effect of 16 the works to adjacent buildings, structures, lands, streets and utilities. Details of the
method of assessment of complexity and the extent that the number of TCPs and their frequency
level of inspections should be increased are set out in the Code of Practice. 6.2 The minimum
qualifications and experience required for each grade of TCP are set out in Table 2 in this Technical
Memorandum. 6.3 From time to time, the Building Authority may review the details in the Code of
Practice including an assessment of the supervision requirements for different types of building
works or street works, the qualifications and experience of the TCPs and their frequency of
attendance on site so as to reflect good practice of the building industry and profession current at
the time. Types of works 6.4 Subject to section 11 of this Technical Memorandum, supervision plans
are required to be submitted for the following types of building works or street works:- (a) types of
building works (i) demolition (ii) ground investigation field works (iii) foundation (iv) site formation
(v) excavation and lateral support (vi) cap / footing / basement (vii) superstructure (viii) curtain wall /
cladding (ix) addition and alteration (x) slope / retaining wall / buried services repairs (xi) tunnel
works (b) street works 17 Flexible deployment of TCPs 6.5 If more than one TCP is required under
any stream of supervision, the AP, RSE, RGE or RC may assign one or more TCP to cover the duties
and responsibilities of more than one role provided that:- (a) the TCP who is appointed satisfies the
requirements of the highest grade of TCP specified; and (b) the TCP undertakes inspections at a
frequency no less than the frequency derived in accordance with the Code of Practice and Table 1 in
this Technical Memorandum. 6.6 For the streams of the AP, RSE and RGE, the AP, RSE and RGE may
appoint the same TCP to cover the roles in two or three streams, as the case may be, provided that:(a) the TCP satisfies the grade requirements under all the related streams; (b) the TCP satisfies the
requirements of the highest grade of TCP specified; and (c) the TCP undertakes inspections at a
frequency no less than the frequency derived in accordance with the Code of Practice and Table 1 in
this Technical Memorandum. 6.7 The AP, RSE, RGE or their TCPs cannot combine supervision duties
with the TCPs’ within the RC’s stream. AS and his TCPs cannot act as TCPs within the stream of AP,
RSE or RGE. 6.8 One supervision plan may cover more than one type of building works or street
works provided that the respective plans of the building works or street works have been approved
by the Building Authority or the respective plans of minor works have been submitted to the
Building Authority according to the simplified requirements. In the case of such a combined
supervision plan, the separate TCP roles may be combined together into the duties of one or more
persons provided that the requirements for qualifications and experience are satisfied and the 18
combined inspection frequency is not less than that under the separate supervision plans. 6.9 When
there is an existing supervision plan for a type of building works or street works, and additional or
new work of the same type is to be carried out under the same AP, RSE, RGE and AS, an amended
supervision plan may be submitted incorporating the work currently supervised under one or more
existing supervision plans. 7. Form and content of a supervision plan 7.1 A supervision plan
comprises different parts to be prepared by different authors as set out below:- Part Author (a)
Preamble AP (b) Part I AP (c) Part II RSE (d) Part III RGE (e) Part IV AS Standard forms for the above
types of supervision plans are set out in the Code of Practice. 7.2 The plan is to be drawn up by the
respective authors to form a fully co-ordinated and documented supervision plan with supporting
appendices. Preamble 7.3 Item (1) shall provide background information on the site and the
proposed building works or street works known at the time of preparation. 7.4 Item (2) requires the
AP, RSE, RGE and AS to undertake that their supervision will be carried out in accordance with the
plan, this Technical Memorandum 19 and the Code of Practice. It also requires them to undertake
that the management and execution of site supervision of the works covered by the plan will be
carried out in the manner prescribed by the provisions of the Buildings Ordinance and regulations.
Part I 7.5 Item (3) requires the AP to state the type of building works or street works, the date of
approval of plans or date of submission of plans in respect of minor works which are carried out
according to the simplified requirements and the assessment of the scale of the works. 7.6 Item (4)
requires the AP to identify the supervision input of different grades of TCPs, and provide the
combined supervision input of the TCPs for one or more types of building works or street works
under one supervision plan prepared by the AP. Detailed requirements are set out in the Code of
Practice. 7.7 Item (5) requires the AP to identify the particulars and frequency level of site inspection
of respective grade of TCP for site supervision. Detailed requirements are set out in the Code of
Practice. 7.8 Item (6) requires the AP to identify the particulars and inspection frequency of
respective grade of TCP for site supervision during critical stages of the works. Detailed requirements
are set out in the Code of Practice. 7.9 Item (7) requires the AP to declare that the plan is in
compliance with this Technical Memorandum, the Code of Practice and the requirements of the
Buildings Ordinance and regulations, and he has also read and confirmed the Preamble of the plan.
Part II 7.10 Item (8) requires the RSE, taking into account the type of works specified in Part I of the
plan, to identify the supervision input of different grades of TCPs, and provide the combined
supervision input of the TCPs for one or more types 20 of building works or street works under one
supervision plan prepared by the RSE. Detailed requirements are set out in the Code of Practice. 7.11
Item (9) requires the RSE to identify the particulars and frequency level of site inspection of
respective grade of TCP for site supervision. Detailed requirements are set out in the Code of
Practice. 7.12 Item (10) requires the RSE to identify the particulars and inspection frequency of
respective grade of TCP for site supervision during critical stages of the works. Detailed requirements
are set out in the Code of Practice. 7.13 Item (11) requires the RSE to declare that the plan is in
compliance with this Technical Memorandum, the Code of Practice and the requirements of the
Buildings Ordinance and regulations, and he has also read and confirmed the Preamble of the plan.
Part III 7.14 Item (12) requires the RGE, taking into account the type of works specified in Part I of
the plan, to identify the supervision input of different grades of TCPs, and provide the combined
supervision input of the TCPs for one or more types of building works or street works under one
supervision plan prepared by the RGE. Detailed requirements are set out in the Code of Practice.
7.15 Item (13) requires the RGE to identify the particulars and frequency level of site inspection of
respective grade of TCP for site supervision. Detailed requirements are set out in the Code of
Practice. 7.16 Item (14) requires the RGE to identify the particulars and inspection frequency of
respective grade of TCP for site supervision during critical stages of the works. Detailed requirements
are set out in the Code of Practice. 7.17 Item (15) requires the RGE to declare that the plan is in
compliance with this Technical Memorandum, the Code of Practice and the requirements of the 21
Buildings Ordinance and regulations, and he has also read and confirmed the Preamble of the plan.
Part IV 7.18 Item (16) requires the AS, taking into account the type of works specified in Part I of the
plan, to identify the supervision input of different grades of TCPs, and provide the combined
supervision input of the TCPs for one or more types of building works or street works under one
supervision plan prepared by the AS. Detailed requirements are set out in the Code of Practice. 7.19
Item (17) requires the AS to identify the particulars and frequency level of site inspection of
respective grade of TCP for site supervision. Detailed requirements are set out in the Code of
Practice. 7.20 Item (18) requires the AS to identify the particulars and inspection frequency of
respective grade of TCP for site supervision during critical stages of the works. Detailed requirements
are set out in the Code of Practice. 7.21 Item (19) requires the AS to declare that the plan is in
compliance with this Technical Memorandum, the Code of Practice and the requirements of the
Buildings Ordinance and regulations, and he has also read and confirmed the Preamble of the plan.
8. Procedures for submission of supervision plans 8.1 The supervision plan shall be lodged with the
Building Authority by the AP prior to or at the same time as the application for the first consent for
commencement of building works or street works. For minor works carried out according to the
simplified requirements, the supervision plans, if so required, shall be submitted to the Building
Authority not less than 7 days before commencement of the minor works. 22 8.2 If the proposals for
subsequent stages of the work change or if there is new information which invalidates the submitted
supervision plan, then a revised supervision plan shall be lodged. 8.3 If there is a change of TCP other
than those cases referred to in section 9 of this Technical Memorandum, the AP, RSE, RGE and AS, as
the case may be, shall submit a revised supervision plan to the Building Authority within 7 days of
the change and only the amendment of the relevant part of the supervision plan needs to be
submitted without the other parts of the supervision plan. 9. Circumstances in which minor
deviations from a supervision plan may be notified in retrospect 9.1 If a TCP is absent or is likely to
be absent because of accident, illness or emergency, a replacement TCP of equal or better
qualifications and experience shall be posted to the site within 48 hours. The name and identity card
number of the replacement TCP shall be entered into the site register until such time as a further
appointment is made or until the original TCP returns to duty. The AP, RSE, RGE and AS, as the case
may be, shall notify the Building Authority of such arrangements within 7 days. 9.2 If a TCP is absent
for reasons other than those described in section 9.1 of this Technical Memorandum, the
representative of his stream shall check that an entry is made in the site register explaining the
circumstances which have arisen and the action which is to be taken. 10. The method and timing of
notification of, and the amendment procedures for, a proposed or actual deviation from the
supervision plan, including deviations caused by an emergency 10.1 Should any urgent work,
accident, emergency or other special circumstances render it impracticable to comply with the
requirements of a supervision plan, then the plan may be deviated from for a maximum period of 48
hours after 23 which time alternative arrangements shall be made which are equivalent to or better
than the original requirements of the supervision plan. The Building Authority shall be notified
within 48 hours after such work has been commenced. The AP, RSE, RGE and AS shall prepare a
revised supervision plan as a result of the urgent works. 10.2 An increase in the number of TCP
provided is not a deviation from a supervision plan. 11. Circumstances in which a supervision plan is
not required for building works or street works A supervision plan is not required for building works
which satisfy the criteria set out below. Demolition • the building is not located in area number 1 of
the scheduled areas specified in the Fifth Schedule of the Buildings Ordinance; • the total height of
the building does not exceed 10m; • the storey height of the building does not exceed 5m; • the
span of any structural element of the construction does not exceed 6m; • there are no cantilever
structures exceeding 1m in span in the building; • there are no prestressed concrete elements in the
building; • the building is not retaining any ground level difference exceeding 1.5m; and • there are
no other buildings or streets within 5m of the building. Site Formation • the maximum gradient
across the lot from boundary to boundary is not more than 15 degrees; • the overall gradient of an
area bounded by lines 10m outside the lot boundary in any direction is less than 15 degrees; 24 •
there is no slope within the area 10m outside the lot boundary steeper than 30 degrees or higher
than 1.5m; • there is no retaining wall or terrace wall either within the lot or within the area 10m
outside the lot which is higher than 1.5m; • no retaining walls or terrace walls higher than 1.5m are
to be constructed; • no slopes steeper than 30 degrees nor higher than 1.5m are to be constructed;
• the combined height of retaining wall and slope constructed shall not exceed 1.5 m; • the retaining
height to breadth ratio of retaining walls constructed shall not be greater than two; and • the
retaining walls shall be constructed of masonry or concrete. Excavation • the depth of excavation is
less than 2.5m; and • there are no roads, buildings, other structures, slopes steeper than 30 degrees
or water-mains of 75mm or greater in diameter within the profile described by a line drawn at 45
degrees to the horizontal from the perimeter of the base of excavation to the ground surface.
Superstructure • the total height of the building does not exceed 10m; • the span of any structural
element of the building does not exceed 6m; • the structural elements are constructed of reinforced
concrete; and • the construction floor area of the building is less than 500 square metres. Drainage •
all drainage works. (Note that excavation of significant depth is covered by the rules for excavation
and lateral support works) 25 Alteration and Addition Works • work not requiring demolition or
structural alteration. Building Repairs • all building repairs. Minor Works • all Class II minor works. •
all Class III minor works. 26 PART III MISCELLANEOUS INFORMATION List of Tables Table 1 Minimum
supervision requirements for different types of building works or street works Table 2 Minimum
qualifications and experience required for each grade of TCP for site supervision 27 Table 1
Minimum supervision requirements for different types of building works or street works Grades of
TCP and Minimum Frequency Levels of Inspection Type of building works and street works RC’s
Stream AP’s Stream RSE’s Stream RGE’s Stream T1 T2 T3 T4 T5 AS T1 T2 T3 T4 T5 AP T1 T2 T3 T4 T5
RSE T1 T2 T3 T4 T5 RGE Ground investigation field works 5 - - 4 - 1 - - 3 - - 1 - - - - - - - - 5 - 4 1 Building
works with significant geotechnical content (Note 4) Foundation (Note 5) 5 5 - 4 - 1 - - 4 2 - 1 - - 5 - 4
1 - - 5 - 4 1 Others 5 4 - 4 - 1 - - 4 2 - 1 - - 4 - 3 1 - - 5 - 4 1 Foundation works (other than foundation
works with significant geotechnical content) 5 5 - 4 - 1 - - 4 2 - 1 - - 5 - 4 1 - - - - - - All other building
works (other than minor works) or street works 5 - 4 4 - 1 - - 4 2 - 1 - - 4 - 3 1 - - - - - - 28 Class I minor
works Works where only appointment of AP is required 5 - 4 - - 1 - - 4 - - 1 - - - - - - - - - - - - Additional
TCPs for works where RSE is required - - - - - - - - - - - - - - 4 - - 1 - - - - - - Additional TCPs for works
where RGE is required - - - - - - - - - - - - - - - - - - - 5 - - - 1 Notes to Table 1 1. Level 1 = Inspection as
and when required Level 2 = Monthly inspection Level 3 = Fortnightly inspection Level 4 = Weekly
inspection Level 5 = Full-time inspection during site working hours 2. Higher grade TCP and/or more
frequent site inspection up to full time may be required at critical stages. Further guidance is given in
the Code of Practice. 3. For the qualification and experience required for each grade of TCP, refer to
Table 2 of this Technical Memorandum. Further guidance is given in the Code of Practice. 4. The type
of building works that are regarded as building works with significant geotechnical content are set
out in the Code of Practice. 5. The type of foundation works, including those in the designated area,
that are regarded as building works with significant geotechnical content are set out in the Code of
Practice. 29 Table 2 Minimum qualifications and experience required for each grade of TCP for site
supervision Grade of TCP Minimum qualifications and experience for each grade of TCP for site
supervision T1 A certificate or diploma holder with minimum total relevant working experience of 2
years to the satisfaction of the Building Authority. T2 A higher certificate or higher diploma holder
with minimum total relevant working experience of 3 years to the satisfaction of the Building
Authority. T3 A higher certificate or higher diploma holder with minimum total relevant working
experience of 5 years, or a degree holder with minimum total relevant working experience of 2 years
to the satisfaction of the Building Authority. T4 A degree holder with minimum total relevant
working experience of 4 years to the satisfaction of the Building Authority or a registered
professional. T5 A registered professional with minimum total relevant working experience of 5
years to the satisfaction of the Building Authority. Notes to Table 2 (1) “relevant working
experience” - means such working experience as may from time to time be recognised by the
Building Authority as being relevant to the duties of a TCP of appropriate grade under each stream
of supervision “total relevant working experience” - means relevant working experience aggregated
by a method recognised by the Building Authority (2) A person who satisfies the Building Authority
by reason of his training, experience and skill in safety management that he is a fit and proper
person to be qualified for a particular grade of TCP shall be deemed to be so qualified for the
purpose of employment in safety management as required in this Technical Memorandum. Further
guidance is given in the Code of Practice. (3) For some grades of TCP, the absence of the required
qualifications may be compensated for by extra relevant working experience according to guidelines
to be determined by the Building Authority. Further guidance is given in the Code of Practice,
Practice Notes for Authorized Persons, Registered Structural Engineers and Registered Geotechnical
Engineers or Practice Notes for Registered Contractors. (4) Details of the minimum qualifications and
experience required for each grade of TCP for site supervision are given in the Code of Practice. 30